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When the CFP Board provides guidance for its fiduciary standard, it uses case studies
Expert: Interest rate discussions with clients ‘can be problematic’
Advisers who use an assets-under-management model should lead with planning and do what’s in the best interest of their clients at all turns
Investor-protection advocates don’t expect state to water down measure
Group files amicus brief in support of lawsuits seeking to overturn regulation
SEC official: 'Can I demonstrate how I got to this recommendation?'
401(k)-plan advisers are well-positioned to provide investment advice to participants, but it could prove legally treacherous.
These may be more problematic than fiduciary mistakes
Labor Secretary nominee tells lawmakers ethics rules could limit his work on matters connected to his former clients.
Did the SEC ignore congressional intent, or was it on solid ground creating a new broker standard?
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